Gayle M. Gipson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gayle Marie Gipson was a registered financial professional .
Gayle is a previously registered financial professional and started their career in finance in 1993. Gayle had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2015 - September 16, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
August 5, 2013 - May 14, 2015
REGAL SECURITIES, INC.
February 4, 2013 - July 19, 2013
INVESCO DISTRIBUTORS, INC.
July 10, 2012 - January 17, 2013
VALIC FINANCIAL ADVISORS, INC.
March 6, 1997 - April 20, 2012
MESIROW FINANCIAL, INC.
January 6, 1997 - January 22, 1997
BMO CAPITAL MARKETS GKST INC.
May 15, 1995 - July 17, 1996
ARIEL DISTRIBUTORS, LLC
July 21, 1993 - May 15, 1995
ARIEL CAPITAL MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BMO INVESTMENT DISTRIBUTORS, LLC
CRD#: 146711 / SEC#: , 8-67845
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | DIRECT PARENT CORPORATION | |
| GREGORY, MARK ANDREW | CHIEF COMPLIANCE OFFICER | 2253531 |
| JONES, BEN D | PRESIDENT, CHIEF OPERATING OFFICER, DIRECTOR | 4206990 |
| LAKE, STEPHANIE ANN | CHIEF FINANCIAL OFFICER | 5845009 |
| OLEARI, SUSAN G | DIRECTOR | 6660230 |
| PAPAGEORGAKIS, PETE | DIRECTOR | 1974178 |
| RAYNIER, MATTHEW BRENNAN | AML OFFICER | 6843589 |
| WANIE, LEE GORDON JULIAN | DIRECTOR | 2793249 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
